Showing 141 to 150 of 508 search results for Enforcement action.

141. Blue Gate Capital Limited ordered to pay Connaught investors £203,007

     Press Releases Published: 18/12/2020 Last modified: 18/12/2020
     The FCA has publicly censured Blue Gate Capital Limited (Blue Gate) and ordered it to pay £203,007 in restitution to investors who lost money investing in the Connaught Income Fund, Series 1 (the Fund). 

142. FCA responds to independent reviews into its regulation of London Capital & Finance and Connaught

     Press Releases Published: 17/12/2020 Last modified: 17/12/2020
     The FCA has responded to the independent investigations of its supervision of London Capital & Finance plc (LCF) and Connaught Income Fund Series 1 and connected companies (Connaught)

143. FCA fines Barclays £26 million over treatment of customers in financial difficulty

     Press Releases Published: 15/12/2020 Last modified: 15/12/2020
     The Financial Conduct Authority (FCA) has fined Barclays Bank UK PLC, Barclays Bank PLC and Clydesdale Financial Services Limited (Barclays) £26 million for failures in relation to their treatment of consumer credit customers who fell into arrears

144. FCA fines and prohibits hedge fund Chief Investment Officer for market abuse

     Press Releases Published: 15/12/2020 Last modified: 15/12/2020
     The FCA has fined Corrado Abbattista, formerly a portfolio manager, partner and Chief Investment Officer at Fenician Capital Management LLP, £100,000 for market abuse and prohibited him from performing any functions in relation to regulated

145. Litigation & Enforcement (Clone of FCA authorised firm)

     Warnings Published: 03/12/2020 Last modified: 03/12/2020
     Litigation & Enforcement (Clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and

146. FCA fines TFS-ICAP £3.44 million for market misconduct

     Press Releases Published: 23/11/2020 Last modified: 23/11/2020
     The Financial Conduct Authority (FCA) has fined TFS-ICAP Ltd, an FX options broker, £3.44m for communicating misleading information to clients.

147. FCA bans three individuals from working in the financial services industry for non-financial misconduct

     Press Releases Published: 05/11/2020 Last modified: 05/11/2020
     The Financial Conduct Authority (FCA) has prohibited Russell David Jameson, Mark Horsey, and Frank Cochran from working in the financial services industry following findings that they are not fit and proper.  Each of them had been convicted of

148. FCA censures Aviva plc for listing and transparency rules breach

     Press Releases Published: 26/10/2020 Last modified: 26/10/2020
     The FCA has today publicly censured Aviva plc for making an announcement that had the potential to mislead the market.

149. FCA and PRA fine Goldman Sachs International £96.6m for risk management failures in connection with 1MDB

     Press Releases Published: 22/10/2020 Last modified: 23/10/2020
     FCA and PRA fine Goldman Sachs International £96.6m for risk management failures connected to 1Malaysia Development Berhad (1MDB)

150. FCA fines ARCM £873,118 for breaches of short selling disclosure rules

     Press Releases Published: 14/10/2020 Last modified: 14/10/2020
     The Financial Conduct Authority (FCA) has fined Asia Research and Capital Management Ltd (ARCM) £873,118 over transparency failures. The firm failed to notify the FCA and disclose to the public its net short position in Premier Oil Plc built